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SEC orders San Diego B-D to pay $800,000 over fund share class disclosures
Madison Avenue Securities didn't disclose or didn't adequately disclose conflicts associated with compensation the firm received from certain advisory client investments.
Market correction puts Roth conversions on the front burner
The tax implications of an IRA conversion are far from automatic and can be difficult to forecast this early in the year.
Become part of your client’s business team as risk management partner
Leaders focused on business growth may not be thinking about the next unexpected disruption. That's where trusted advisers have an opportunity to bridge the gap.
Negotiating with a custodian
The 5 cents remaining in an investment account triggered a lengthy back-and-forth between the adviser and his custodian.
Women give more, differently, sparked by recent upheaval
New research reveals sharp generational differences as women double down on their philanthropic priorities.
Barred broker latest to be focus of a GWG bond complaint
Marc Korsch, who was booted from the securities industry last year, has a staggering 33 disclosure items on his BrokerCheck report.
United Planners adopts private network solution
The independent broker-dealer says the cybersecurity system from cleverDome offers more control than a virtual private network.
Promises of student debt forgiveness put advisers in uncharted territory
The moving target of potential debt forgiveness, coupled with an extended payment moratorium, has advisers reading the political tea leaves for direction.
Northern Trust Asset Management seeks greater diversity in trade executions
Firm is seeking requests for information from minority-owned broker-dealers, as well as those owned by women, veterans and people with disabilities.
Helping suddenly rich clients stay that way
Morgan Stanley's private wealth management trains advisers to guide their clients through the peaks and valleys of first-generation wealth.
Surveys show Americans prefer retirement planners, lack plans
Retirement income planning is the service most sought after by both older and younger consumers, according to a survey by the Granum Center for Financial Security.
Bill Winterberg returns to adviser fintech at AdvicePay
Winterberg will serve as vice president of financial planning growth at AdvicePay, the fee-payment-process technology created by XY Planning co-founders Michael Kitces and Alan Moore.
Bear markets chip away at firm valuations
Just about every asset class has been whacked in this year's sell-off, which has pushed firms' AUM values lower, resulting in lower fees and revenues.
Advisers getting better at social media, but still have work to do
A new study analyzing social media posts from across the financial services industry found that while posts about a firm's or adviser's stance on issues are the most engaging, they account for only 1% of total posts.
First impressions last, so go beyond the basics
Build loyalty by providing meaningful hospitality and personal touch points for your firm's clients.
JPMorgan to hire 1,300 more advisers over next three years
The additions, which would boost head count to 6,000 from about 4,700, are part of a strategy to boosts the firm's wealth management assets to $1 trillion.
Lead broker-dealer seller of GWG bonds reports potential trouble
In its annual audited financial statement, Emerson Equity reported that problems related to an unnamed offering potentially could harm the firm.
Recession threat takes center stage
Financial advisers scramble to keep clients on track as markets drive lower, inflation climbs and an economic slowdown seems unavoidable.
Wells Fargo used fake job interviews to promote diversity: Report
The job interviews seemed designed to bolster Wells Fargo's record of its diversity efforts rather than actually hiring women or people of color, the New York Times reported.
T. Rowe nabs ESG exec from BlackRock
Poppy Allonby, who will work out of T. Rowe’s London office, will oversee the company's ESG strategy at a high level.
